EFTA01363154.pdf

If Yes b) Does the The term "guarantee business" means the providing of sureties, guarantees and similar transaction forms of credit protection to third parties on behalf of clients—guarantee business is provide for the characterized by its substitution of lending and the bank acquiring a ieimbursement claim granting of vis-a-vis the client (the Ain once the beneficieuy of the ouaranme has drawn the guarantee guarantees? and the hank has made payment If No Please review whether the Activities that are not considered "guarantee business": transaction only encom- passes activities that am If Yes Client clearing of derivatives under the futures commission merchant (ECK not considered "guarantee clearing model of the U.S.A. or clearing models that provide for a similar business" as described in guarantee the column on the right (if If Yes Guarantees ha the benefit of nursAIF custody clients when lending securities of so, please do mark ques- such custody (Monts to AlFs (agency lending) tion (b) above with "no"): 02. (If the answer to 01 is "yes"): Does the direct counterparty (i.e. the borrower under the loan transaction or the principal of the guarantee transaction, in both cases hereinafter "the Borrower") qualify as an alternative investment fund (AIF) ores the investment management company of an AIF (AIFM)? The term "Alf" means any collective investment undertaking, including an investment compartment thereof, which (i) raises capital horn a number of investors. with a view to investing it in accordance with a defined investment policy for the benefit of those investors. and is no operationally active enterprise outside of the linancial sector, and Oil is not authorised pursuant to Article 5 of Directive 2009/65/EC tit 13 July 2009 (UCITSD). The term "AIFM" means any legal person whose regular business is managing one or more AlFs. The answer to 02 is split up in two —please indicate YES or NO and describe the basis for this conclusion in the Comments section as well as by checking the appropriate box in below table containing examples. 02a. Does the Borrower qualify as an alternative investment fund (AIF)? YES Of the answer is "yes", please proceed to O6 in LEVEL 2 of the questionnaire) NO (if the answer is "no", please proceed to Q2b) 02b. Does the Borrower qualify as an AIFM? YES (if the answer is "yes", please proceed to 03) NO (if the answer is "no", please proceed to 04) Comments Please provide a brief description of the basis for the conclusion that the. Borrower is, or is not, an AIF or an AIFM and substantiate the assessment by answering the questions in the fable below Please select in the table below the applicable fund criteria Ma* [XI If Yes Is the counterparty registered as AIFM with, or authorized by. competent authorities in the relevant jurisdiction? II Yes Is the counterparty registered as AIF with competent authorities in the relevant jurisdiction? ALTERNATIVELY, if none of the questions above is marked (X] .does the counterparly for purposes of the below questions the term "countorparty" refers to the direct counterparty under the trensaction, or, in case the counterparty is an investment management company, to the investment fund managed by this investment management company) meet ell of the following criteria (a), (b) and (e) in the column on the left and does now re the exemptions under (d) apply? (please note: to he an Ale it is necessary to satisfy all of the elements of the definition. re. d only one of the below questions (a), (bland (c) is marked with "no" or one of the exemptions under Id) applies, the CoUnhaptaty does not qualify as AIF or as AIFM): WM178929 02S88e070317 For internal use only Parent VI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053051 CONFIDENTIAL SONY GM_00199235 EFTA01363154